Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Halden is a financial professional with over 27 years of experience in the industry. Thomas is currently registered with Charles Schwab & CO., Inc. in Chicago, IL. Prior to their current role, Thomas was associated with TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC and SUNAMERICA CAPITAL SERVICES, INC.. Thomas has passed Series 63, Series 65 and Series 7 exams.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
IL
08/24/2022 - Present
Charles Schwab & CO., Inc. (Chicago IL)
IL
01/30/2013 - 08/05/2022
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHICAGO IL)
NJ
02/10/2011 - 06/14/2012
SUNAMERICA CAPITAL SERVICES, INC. (JERSEY CITY NJ)
VA
09/07/2010 - 01/25/2011
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
MA
12/20/2007 - 08/23/2010
SUN LIFE FINANCIAL DISTRIBUTORS, INC. (WELLESLEY HILLS MA)
NC
10/08/2007 - 10/31/2007
AXA DISTRIBUTORS, LLC (CHARLOTTE NC)
MA
12/15/2004 - 10/01/2007
SUN LIFE FINANCIAL DISTRIBUTORS, INC. (WELLESLEY HILLS MA)
IL
02/21/1996 - 05/25/2004
SCUDDER DISTRIBUTORS, INC. (CHICAGO IL)
MN
10/12/1994 - 01/19/1996
PRIMEVEST FINANCIAL SERVICES, INC. (ST. CLOUD MN)
NY
10/08/1993 - 06/15/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 05/19/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/14/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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